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A Concise Guide to Corporate Compliance Management (2nd Edition)

A Concise Guide to Corporate Compliance Management (2nd Edition)

  • 作者:
  • 出版商: Wolters Kluwer (HK) (formerly CCH)
  • ISBN: 9789887617174
  • 出版时间 March 2023
  • 规格: Paperback , 228 pages
  • 适应领域: Hong Kong ? 免责申明:
    Countri(es) stated herein are used as reference only

List Price: ¥646.00

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  • 描述 
  • 大纲 
  • 作者 
  • 详细

    Compliance is more than operating within the boundaries of the law and regulations. It epitomizes the norms and the integrity of an organization, and it contributes to good business results. Rather than just knowing and following the respective requirements, compliance management covers a wide range of areas.

     

    Moreover, effective compliance does require professionals who understand regulatory obligations, who listen to the business, including but not limited to skilful educators, counsellors, governance professionals, accountants, and facilitators.

     

    While the first edition outlined the key concepts of compliance and looked at the area from serval perspectives, this second edition also covers new topics including:

     

    • New ISO standards on compliance management systems;
    • Practitioners’ perspectives and selective discussions on regulators in financial services sector; and
    • Discussions on the Three Line Model as well as leadership and impacts of the use of technology in compliance.

     

    The updated edition is meant to be practical and structured to support the reader, with insights for those already in the profession and for those thinking of entering the field.

  • 1      Introduction

    2      Defining the Role of Compliance

    3      Key factors impacting the effectiveness of the compliance function

    4      Overview of global financial rules and regulations

    5      From Regulatory Methods, Regulators to Wider Considerations

    6      From Risk Management to Managing Compliance Risks

    7      From Corporate Governance, Social Responsibility to Leadership

    8      From Compliance Policies, Internal Control, Resources to Training

    9      From Compliance Culture to Code of Conduct

    10    From Compliance Monitoring, Review to Audit

    11    From Being Professionals to Relationships with Key Stakeholders

    12    The Three Lines Model

    13     Leadership and Future of Compliance

  • Dr Angus Young

     

    Dr Angus Young is currently Senior Lecturer/Programme Manager of the LLM in Corporate & Financial Law and LLM in Compliance & Regulation at the Department of Law, University of Hong Kong. Con-currently, he is Research Fellow at the Centre for Corporate Governance and Financial Policy at the Hong Kong Baptist University, Honorary Fellow at the Asian Institute of International Financial Law, University of Hong Kong, and Distinguished Research Fellow at the German-Sino Institute of Legal Studies, Nanjing University, Furthermore, he is Institutional Markets Industry Council Member at FINSIA, National Advisory Council Member & Education Officer of the Greater Bay Area, China at the Chartered Institute of Securities & Investment, Member of Publication Sub-committee at the Hong Kong Institute of Bankers, Editorial Advisor to Ninehills Media Ltd for Banking Today, as well as Editorial Board Member of International Corporate Rescue and International Company and Commercial Law Review.

     

    His contributions to the field of compliance and the profession have been recognised with several awards by the GRC Institute. They are the Honorary Fellow Award, a joint recipient for the Brian Sharpe Memorial Essay Award in 2014, and Honorary Mention for Honorary Fellow Award in 2009.

    Dr Young’s core research interests are in regulations, governance and compliance. He has authored and co-authored over 170 publications consisting of articles in the American Journal of Comparative Law, Journal of Corporate Law Studies, Journal of Business Law, Company Lawyer, International Company and Commercial Law Review, Journal of International Banking Law and Regulation, Corporate Governance: An International Review, Business Horizons, Legal Education Review, and more, as well as other works comprising of books, book chapters, a case note, general articles, study guide, editorials, book reviews, encyclopaedia entries, working papers, as well as newspaper articles. Additionally, presented and co-authored over 110 international academic conference papers, seminars presentations, panelist as well as guest speaker for professional development seminars and training for regulatory authorities. Moreover, had 30 media interviews and commentaries about finance regulations and developments, financial crimes, ‘governance, risk and compliance’, ESG, and more.

     

    He currently teaches mostly postgraduate modules in corporate law and governance, financial law and regulations, securities law and listing obligations, corporate compliance. He also designed and drafted several new modules aimed at training governance and compliance professionals. And formerly Programme Director of Master of Science in Applied Accounting & Finance and Associate Director of Bachelor of Commerce in Accounting as well had been convenor of a taskforce on online teaching and blended learning at the HKBU Business School. In addition, been a member of several school/departmental taskforces to develop new curriculum as well

     

    as restructure both undergraduate and post-graduate degrees in Australia and Hong Kong specialising or sub-majoring in corporate governance and compliance. In addition, he had been an external examiner for PhD, DBA and Master Theses.

    He has previously held academic appointments at a number of universities in Australia, New Zealand, and Hong Kong as well as an adjunct professor in China. And was previously ‘Online’ Visiting Scholar at the School of Law, University of Glasgow, Adjunct Fellow at the School of Law, Western Sydney University in Australia, and Sutherland Fellow at the UCD Sutherland Law School, University College Dublin in Ireland. Also he was Hong Kong Representative for the GRC Institute, and Publishing & Product Development Advisor, Wolters Kluwer Hong Kong Ltd. And was Guest Co-editor of a special issue for the International Company and Commercial Law Review, Volume 28, Issue 9 in 2017.

     

    He has seven undergraduate and postgraduate degrees in law, economics, political science and criminology from universities in the United Kingdom, Australia and New Zealand, as well as completed five executive education courses on fintech, digital transformation, circular economy, leadership and blockchain. In addition, have undertaken three professional training courses on corporate governance, compliance management and ADR. Furthermore, completed a micro-credential course on online teaching. He is currently Fellow of Advance HE, Fellow of Chartered Management Institute, Fellow of CPA Australia, Fellow of FINSIA, and Member of Chartered Institute for Securities & Investment, Member of the GRC Institute with accreditation as a Certified Compliance Professional as well as a Certified Risk Professional, and an Associate of the Chartered Institute of Arbitrators.

     

    Prior to academia he worked in banking, administration, hospitality, freight forwarding and policy analysis. His consultancy experiences include regulatory advisory, governance matters and compliance training.

     

    Dr Kai-Uwe Seidenfuss

     

    Dr Kai-Uwe Seidenfuss is active in business and academia. As a Senior Executive now based in Hong Kong, he works for a privately-held conglomerate – drawing from more than 30 years of global experience in the Automotive Industry and adjacent fields. Previous executive roles have included assignments as CEO, CMO, and Regional CFO at listed, private as well as family-held companies. He has served on the Management Boards of two major Japanese companies, held key executive functions in Europe and Singapore, and combines pragmatic business and governance experience.

    His previous and current roles as Non-Executive Director include automotive and financial services boards in Japan, Thailand, Vietnam, and Korea. He has also served as the Chairman of a US-based company for several years. Before coming to Hong Kong, he had been the Chief Audit Executive of a major German DAX company – with offices in Stuttgart, Beijing, and Detroit. In this role, he was fully responsible towards the Chairman of the Supervisory Board, gaining insights into globally relevant governance topics.

     

    Dr Seidenfuss graduated with business degrees from Germany, the US and Switzerland. He holds a PhD from University of South Australia and has regularly published in the fields of international management, project management and governance. His articles have appeared in international academic journals including International Marketing Review and Asia Pacific Journal of Marketing and Logistics – complemented by select book contributions, conference presentations and other speaking assignments. He has been invited to speak at partner meetings of such organizations as McKinsey in Asia or KPMG worldwide in London, and at select non-profit organizations.

    Beside serving as conference and academic journal reviewer, he regularly volunteers in teaching and mentoring at German, Japanese, and Australian universities. These activities cover the undergraduate, graduate, and post-graduate level, and have included doctoral supervision at his Alma Mater’s PhD and DBA programs. He has been a member of the Board Academy e.V. in Germany for more than ten years, and is a graduate of the Financial Times Non-Executive Director Program in London. Since 2016, he is also a Fellow of The Hong Kong Institute of Directors.

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